New York Insider Trading Lawyer

Under SEC Investigation for Insider Trading?
What You Need to Know

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If you are under investigation or facing charges for insider trading in New York, the stakes could not be higher. The U.S. Securities and Exchange Commission (SEC) aggressively pursue insider trading cases, often using sophisticated surveillance tools and cooperating with federal criminal prosecutors to build strong cases. If you find yourself caught in the SEC’s crosshairs, you need an experienced and strategic legal advocate by your side.

David R. Chase, Esq., a nationally recognized SEC defense attorney, provides experienced and zealous representation for clients accused of insider trading. As a former SEC prosecutor, David Chase knows how the SEC builds its cases—and more importantly, how to defend against them. From his office in South Florida, Mr. Chase represents clients throughout the country, including individuals and companies in New York.

What Is Insider Trading?

Insider trading occurs when someone buys or sells securities based on material, nonpublic information (MNPI) in violation of a duty of trust or confidence. This offense can involve corporate insiders—such as executives, employees, or board members—or anyone who receives and trades on confidential information improperly, including friends, business associates, or even casual acquaintances.

There are generally two types of insider trading:

Classical Insider Trading

When corporate insiders trade their company’s stock based on material, nonpublic information. If the recipient of the information (the “tipper”) then tips another (the “tippee”) who, in turn, trades, both parties can be held liable if the tippee knew or should have known that the information was obtained through a breach of fiduciary duty.

Misappropriation Theory

When an individual comes into the inside information legally (like a consultant to a publicly traded company) but then misuses that information to trade and personally benefit.

Insider trading can lead to both civil enforcement actions by the SEC and criminal charges by the U.S. Department of Justice (DOJ). Penalties may include:

Significant monetary fines

Disgorgement of profits

Bans from serving as an officer or director

Imprisonment (for criminal convictions)

Why the SEC Targets Insider Trading in New York

As the financial capital of the United States, New York is ground zero for insider trading investigations. Wall Street firms, hedge funds, and investment banks are constantly under scrutiny by federal regulators. The SEC’s New York Regional Office is one of the largest and most active enforcement units in the country, and it aggressively pursues cases involving suspected market abuse and insider trading.

Because of the SEC’s advanced monitoring techniques—including data analytics and whistleblower tips — it is possible to be the subject of an investigation before you even realize it. By the time you receive a subpoena or are contacted by SEC enforcement staff, the agency may already have built a substantial case against you.

The Importance of Hiring the Right SEC Defense Attorney

If you are contacted by the SEC or DOJ regarding insider trading allegations, your choice of legal representation is critical. You need an attorney who not only understands securities law but also has firsthand experience working within the SEC’s enforcement division. That is exactly what David R. Chase offers.

Why Choose David R. Chase?

Former SEC Prosecutor

Before founding his own law firm, David Chase served as an attorney in the Enforcement Division of the SEC. During his time there, he led complex securities fraud investigations, including insider trading cases. He knows how the SEC thinks, how it operates, and thus how to identify weaknesses in its investigations.

Focused SEC Defense Practice

After leaving the SEC, David Chase dedicated his career to defending individuals and companies under investigation by the SEC and other financial regulators. Insider trading defense is a core focus of his legal practice.

Nationwide Representation

Although based in Florida, Mr. Chase represents clients in New York and across the United States in insider trading and securities fraud matters. He routinely handles SEC investigations, Wells Notices, and negotiates settlements with the SEC.

Personalized and Strategic Defense

At David R. Chase, P.A., every case is handled personally by Mr. Chase. He develops a customized defense strategy for each client, aimed at protecting their rights, reputation, and financial future.

What to Do If You’re Under SEC Investigation for Insider Trading

If you receive an SEC subpoena or suspect you may be under investigation for insider trading, it is vital to act quickly and decisively. Speaking with the SEC without experienced SEC counsel can result in potentially incriminating statements that can be used against you.

David Chase will:

Advise you on your legal rights and obligations
Communicate with SEC staff on your behalf
Assist in SEC Subpoena compliance
Analyze the evidence and build a strategic defense designed to avoid charges
When appropriate, negotiate the best settlement terms possible under the circumstances

Early intervention by an experienced New York SEC insider trading lawyer can make all the difference between a successful result or being charged.

Contact David R. Chase, Esq. Today

If you are facing an SEC insider trading investigation or have received a SEC Subpoena in New York, don’t wait. The sooner you involve an experienced SEC defense attorney, the better your chances of protecting your rights, reputation and assets.

Call David R. Chase, Esq. today at 800-760-0912 for a confidential consultation. You may also visit www.securitiesfrauddefense.net to learn more about Mr. Chase’s background, practice areas, and view his successful case results.

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